Carl H. Stocker
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Carl Harrison Stocker was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1986. Carl had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 20, 2009 - July 11, 2016
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
August 20, 2009 - July 11, 2016
CAMBRIDGE INVESTMENT RESEARCH, INC.
April 23, 2008 - December 1, 2009
STOCKER WOODS FINANCIAL, INC
May 22, 2003 - May 1, 2008
MUTUAL SERVICE CORPORATION
January 6, 2003 - August 20, 2009
MUTUAL SERVICE CORPORATION
March 8, 2002 - January 16, 2003
WALNUT STREET ADVISERS INC
August 3, 1990 - January 6, 2003
WALNUT STREET SECURITIES, INC.
January 24, 1990 - August 6, 1990
ADVANTAGE CAPITAL CORPORATION
February 20, 1987 - January 30, 1990
WALNUT STREET SECURITIES, INC.
October 13, 1986 - September 2, 1987
GENERAL AMERICAN LIFE INSURANCE COMPANY
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
